Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason David Windfield is an investment advisor representative with UBS Financial Services Inc. Jason has been in the financial services industry since October 1987. Jason is registered to conduct investment advisory business in Connecticut and Texas. Jason is also registered with FINRA as a registered representative, which allows Jason to conduct securities transactions. Jason holds a Series 7, Series 31, and Series 63 license and a SIE certification. In addition to being an Investment Advisor Representative at UBS Financial Services Inc., Jason also has past experience at Prudential Securities Incorporated and Gibraltar Securities Co. Jason specializes in providing investment advice to individuals, corporations, and other businesses. Jason is also experienced in providing financial planning services, as well as portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CT
01/10/2002 - Present
UBS Financial Services Inc. (WESTPORT CT)
NY
10/31/1990 - 09/09/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
10/20/1987 - 11/06/1990
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
BC
Issued 11/17/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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